Manager, RIA Sales Supervision

Position Description: 

 

We are seeking a motivated professional to manage the RIA (Registered Investment Adviser) Supervision Team. This person will oversee day-to-day supervision activities to ensure compliance with regulatory requirements (SEC, FINRA where applicable, and state regulations) and firm policies. The ideal candidate will possess deep knowledge of RIA business models, supervision and/or surveillance tools, and a strong background in compliance oversight, risk mitigation, and team leadership.  The team also supports broker/dealer supervision activities, such as account acceptance and transaction review.

 

This role will lead compliance teams in a fast-paced, highly regulated environment.  Leverage familiarity with hybrid RIA/BD models and dual registrants.  Utilize previous experience with SEC exam preparation and remediation.  Implement improved levels of technology and automation (RegTech) to achieve surveillance innovation.

 

Position Location:

This position is remote (NE, SD, KS, MN, IA, MO, WI, IL, IN, MI, OH, KY) and does not require regular in-office presence.

 

What you do:

• Lead and develop a team of Supervision Principals responsible for the ongoing monitoring of RIA and B/D activities.
• Provide coaching, training, and performance evaluations to ensure a high-functioning and knowledgeable team.
• Foster a culture of compliance, integrity, and continuous improvement.
• Evaluate and enhance supervision tools and technology to improve coverage and efficiency.
• Lead projects focused on data analytics, automation, and reporting enhancements.
• Maintain documentation of procedures, risk assessments, and findings.
• Oversee the creation, implementation, and refinement of RIA-specific surveillance protocols.
• Prepare and deliver regular reports to senior compliance leadership regarding key metrics, findings, and escalations.
• Serve as the primary liaison for RIA surveillance matters during regulatory exams and internal audits.
• Escalate significant issues or potential violations promptly and appropriately.

What you bring: 

• Bachelor’s degree in finance, accounting, business, or a similar field; or an equivalent combination of education and experience required.
• 4-7 years of experience in investment adviser compliance, supervision, surveillance, or a related field required.
• Previous people management or leadership experience required.
• Proven ability to communicate effectively across all levels of the organization required.
• Strong understanding of RIA regulations, fiduciary responsibilities, and industry best practices required.
• FINRA series 7 and 24 licenses required.
• FINRA series 4, 53, 65/66 licenses are desired.
• Experience with surveillance platforms (e.g., Smarsh, Actiance, ComplySci, or similar tools) and data analytics desired.
• Demonstrated analytical, organizational, and problem-solving skills desired.

What we offer: 

A meaningful mission. Great benefits. A vibrant culture 

Ameritas is an insurance, financial services and employee benefits provider Our purpose is fulfilling life. It means helping all kinds of people, at every age and stage, get more out of life.

 

At Ameritas, you’ll find energizing work challenges. Flexible hybrid work options. Time for family and community. But dig deeper. Benefits at Ameritas cover things you expect -- and things you don’t: 

 

Ameritas Benefits

For your money: 

• 401(k) Retirement Plan with company match and quarterly contribution
• Tuition Reimbursement and Assistance 
• Incentive Program Bonuses 
• Competitive Pay 

For your time: 

• Flexible Hybrid work
• Thrive Days - Personal time off
• Paid time off (PTO)

For your health and well-being: